offering and to strengthen proper investor protection mechanisms. Pursuant to the amended regulations, investors’ rights will be protected fairly according to the characteristics, forms and risks of the

Personnel in Capital Market dated June 3, 2014; classified as prohibited characteristics of personnel in capital market according to Clause 31(1) of the same Notification. Meanwhile, {A}, then a branch

authorization, consequently causing damage to the client. She was working for Globlex Securities Co., Ltd. when the misconduct was committed.In the case of {B}, according to a client's complaint, his employer

to obtain sufficient evidences on the purchase of USD 7.2 million machinery according to the agreement where the company has paid the USD 3.6 million deposit, or an equivalent of 122.95 million baht

from the Company shareholder’s meeting to be held on 1 June 2018. The transaction is expected to be done after the shareholder’s meeting. 2. General characteristic of the transaction According to the

an approval from the Office. Clause 6. The derivatives broker with the following qualifications are allowed to trade derivatives contract according to Clause 5: (1) having sufficient personnel

exchange only when obtains an approval from the Office. Clause 6. The derivatives broker with the following qualifications are allowed to trade derivatives contract according to Clause 5: (1) having

derivatives contract according to Clause 5: (1) having sufficient personnel responsible for making decision on derivatives trading and managing risks of derivatives trading, and such personnel shall have

suitable rental rate at 178.80 baht per square meter. The rental rate at the market rate is estimated by CPM Capital Company Limited according to the asset appraisal report No. A62GEN1136, dated September 25

securities dealing which is not limited to debt instruments. Clause 2 A securities company should arrange a risk management system according to the following guidelines: (1) determining a policy and an